Mutual Fund Intermediary Oversight

We are seeing a detailoriented Fund Administration and Intermediary Oversight Specialist. You will be responsible for administering mutual fund services fund oversight and overseeing the intermediary compensation process ensuring adherence to regulatory requirements and maintaining superior service for global intermediary partners. This includes tracking affiliate investments coordinating with transfer agents intermediary partners (such as state street) and other external service providers while evaluating opportunities for automating workflows an operational efficiency. Additionally you will support key functions such as the annual 15c process risk reporting and financial reporting for the Mutual Fund Board of Directors.

Responsibilities:

• Manage the intermediary compensation process by work withDistribution Partners to oversee invoices and payments with a focus on streamlining the tracking and reporting workflows

• Act as the primary liaison withtransfer agents(UMB SS&C JPM BBH) and other service providers ensuring alignment on strategy KPIs and financial reporting while resolving operational issues.

• Oversight of the annual 15c process including responding to due diligence questionnaire providing detailed analysis and benchmarking of fund performance expenses and AUM against competitors and preparing materials for the Mutual Fund Board ensuring proper governance of the funds

• Oversee the Transfer Agent s trailer process including tracking affiliated investments and ensuring compliance with regulatory requirements for registered funds (e.g. 40 Act Funds UCITS QIAIF & PE Funds)

• Conduct risk reporting cashflow reporting investment concentration reporting and investment conflict reporting

• Collaborate with internal teams and various levels of management through the organization (Sales Legal and Finance).

• Special projects and ad hoc reporting. Contribute to special projects including automating workflows enhancing operational efficiency and improving service delivery

• Support the implementation ofRevportandBroadridgetools for intermediary compensation processes to streamline tracking reporting and payment workflow for the intermediary invoice global distribution process

• Partner with Finance on the expense accrual process for Firms Financial month end close

Qualifications:

• Bachelors degree required Preferably in Business Finance or related field

• 5 7 years of experience in Financial Services with a focus on mutual fund administration reporting and/or intermediary compensation

• Knowledge of industry regulations (e.g. SEC FINRA) and compliance requirements related to mutual funds and intermediary compensation.

• Experience with registered funds including operational processes is highly preferred

• Working knowledge of fund administration platforms (Broadridge Revport is preferred)

• Proficiency in Microsoft Office Suite withadvanced Excel skills(e.g. pivot tables macros VLOOKUPs) and a working knowledge of PowerPoint for reporting and presentations.

• Experience with financial reporting tools and data management systems is a plus.

• Strong communication and interpersonal skills required ability to collaborate across internal and external stakeholders

• Strong time management skills detail oriented and organized with strong followthrough skills

• Team oriented able to collaborate with others yet also work independently

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Compensation Details

The salary range for this role is $110000$140000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employees pay position within the salary range will be based on several factors including but limited to relevant education qualifications certifications experience skills seniority geographic location business sector performance shift travel requirements sales or revenuebased metrics market benchmarking data any collective bargaining agreements and business or organizational needs. This job is also eligible for a discretionary bonus which along with base salary and retirement contributions is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off medical/dental/vision insurance 401(k) life insurance and other benefits to eligible employees.

Note: No amount of pay is considered to be wages or compensation until such amount is earned vested and determinable. The amount and availability of any bonus commission production or any other form of compensation that are allocable to a particular employee remains in the Companys sole discretion unless and until paid and may be modified at the Companys sole discretion consistent with the law.

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